Compliance Advisory Content

*In the Matter of Terence Michael Coxon, SEC Admin. Proc. File No. 3-9218, Initial Decision Rel. No. 140 (April 1, 1999). A petition for review of the initial decision may be filed within 21 days of service of the decision. The SEC's order initiating proceedings in this matter was...

[10930] April 26, 1999 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 9-99 BANK INVESTMENT MANAGEMENT MEMBERS No. 1-99 BROKER/DEALER ASSOCIATE MEMBERS No. 2-99 COMPLIANCE ADVISORY COMMITTEE No. 16-99 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 4-99 CONTINUING EDUCATION...

[10929] April 23, 1999 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-99 COMPLIANCE ADVISORY COMMITTEE No. 14-99 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 3-99 CONTINUING EDUCATION/TRAINING MEMBERS No. 2-99 HUMAN RESOURCES FORUM No. 2-99 INVESTMENT ADVISER MEMBERS...

[10924] April 22, 1999 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-99 COMPLIANCE ADVISORY COMMITTEE No. 13-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 8-99 INVESTMENT ADVISER MEMBERS No. 8-99 SEC RULES MEMBERS No. 26-99 RE: SEC ISSUES FREQUENTLY ASKED QUESTIONS ON FORM 13F ______...

[10856] April 1, 1999 TO: ACCOUNTING/TREASURERS MEMBERS No. 12-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 13-99 COMPLIANCE ADVISORY COMMITTEE No. 11-99 INTERNATIONAL COMMITTEE No. 13-99 OPERATIONS MEMBERS No. 10-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-99 SEC RULES MEMBERS No. 23...

1 http://members.ici.org [10821] March 23, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 10-99 INTERNATIONAL COMMITTEE No. 10-99 SEC RULES COMMITTEE No. 21-99 SECURITIES OPERATIONS SUBCOMMITTEE RE: 1999 UPDATE - BLUE FLAG __________________________________________________________________...

1 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance, Rel. No. 34-41142 (March 5, 1999); 64 Fed. Reg. 12127 (March 11, 1999) (the “Release”). 1 [10800] March 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-99 CLOSED-END...

[10797] March 15, 1999 TO: SEC RULES COMMITTEE No. 18-99 COMPLIANCE ADVISORY COMMITTEE No. 8-99 RE: COMMENTS ON THE NEW PROSPECTUS DISCLOSURE REQUIREMENTS _____________________________________________________________________________ As we mentioned at the last committee meetings, we...

[10743] February 25, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-99 RE: DRAFT AGENDA FOR MARCH 3RD MEETING ______________________________________________________________________________ Attached is a draft agenda for the next meeting of the Compliance Advisory Committee, scheduled...

[10696] February 3, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-99 RE: NOTICE OF MEETING ON MARCH 3RD _____________________________________________________________________________ The next meeting of the Compliance Advisory Committee will be held on Wednesday, March 3rd at 10:00 a.m...